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Corporate - EMEA Compliance - Compliance Testing, CIB Markets and Banking Lead - Vice President

Req #: 170109752
Location: London, ENG, UK
Job Category: Compliance
Job Description:
J.P. Morgan is a leading global financial services firm with assets of $2.1 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management and private equity. Information about J.P. Morgan is available at
The EMEA Compliance Testing team is responsible for the timely and effective management and execution of the EMEA Compliance Testing programme across multiple Lines of Business. This role will report to the Head of EMEA Compliance Testing and be responsible for a team of four who are dedicated to the execution of the CIB and CIO/Treasury Compliance Testing programme with particular focus on Markets and Banking Activity.
The Testing team partners and support Line of Business Compliance Officers and other areas of Compliance globally. The role responsibilities include:
  • Accountability for the execution of the EMEA Testing programme including data quality and provision of management information as required
  • Managing the CIB Markets and Banking Testing team ensuring team members are provided with support and development opportunities
  • Working with the Head of EMEA Compliance Testing in the development and execution of the overall EMEA Testing programme ensuring constancy and coordination between Testing teams and adherence to the firm’s requirements
  • Development of the annual Compliance Testing plan for area of responsibility
  • Establishing collaborative relationships with other departments within Compliance and business stakeholders
  • Management of open issues identified during testing and ensuring associated action plans are closed appropriately, including closure validation as required
  • Working with Internal Audit and Corporate Compliance to ensure the effectiveness of the EMEA Compliance Testing programme
  • Management of Internal/External Audits and Regulator engagement relating to assigned areas of responsibility for Compliance Testing.
The successful candidate should:
  • Extensive Compliance experience or other related experience e.g. legal, risk management, audit, Operations Controls or similar.
  • Have Audit or relevant Industry Qualifications or a University Degree.
  • Demonstrate an ability to interpret regulations and regulatory requirements and assess operational Compliance with those requirements with particular focus on markets, banking and research
  • Experience leading a small team including training and recruitment or employees
  • Have excellent written skills and be able to construct and deliver Compliance Testing Reports to senior management, providing guidance to team members
  • Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with senior business and Compliance partners.
  • Have good organizational skills with an ability to manage, prioritise, work under pressure and meet tight deadlines.
  • Be comfortable interacting with, and presenting to, senior business management and control functions including internal audit
  • Demonstrate clear and concise verbal and written skills.
  • Have flexibility regarding working hours.
  • Expect to travel to other locations as required.
    Preferred Skills and Experience:
  • Experience in internal audit, operational risk management, or other control function covering investment banking and trading/sales
  • Experience with and/or knowledge of Global (APAC and Americas) regulatory environment including Dodd Frank, EMIR, Volcker rules.
  • Financial Services Regulatory experience
About J.P. Morgan Chase & Co:
J.P. Morgan serves one of the largest client franchises in the world. Our clients include corporations, institutional investors, hedge funds, governments and affluent individuals in more than 100 countries. J.P. Morgan is part of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.1 trillion.  The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity. A component of the Dow Jones Industrial Average, JPMorgan Chase serves millions of clients and consumers under its JPMorgan and Chase, and WaMu brands.
J.P. Morgan offers an exceptional benefits program and a highly competitive compensation package.

J.P. Morgan is an Equal Opportunity Employer

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